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STIFEL FINANCIAL CORP

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3461
SEC CIK
0000720672
Parsed reports
720

Last 12 months

Inside the activity.

0 purchase rows · 4 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202601
Feb 202601
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202602
Aug 202600
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
August 20, 2019 Filed Feb 13, 2020 21:09 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 570 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009160 · doc5.xml · nonDerivative · entry 2

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 841,269

Read SEC document
August 20, 2019 Filed Feb 13, 2020 21:09 UTC
ZEMLYAK JAMES MCo-President
GiftCommon Stock 570 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009160 · doc5.xml · nonDerivative · entry 1

ZEMLYAK JAMES M · CIK 0001203675 · Co-President

10b5-1 filing: Not disclosed

Ownership: Indirect · by Son

Disclosed balance after: 3,450

Read SEC document
July 10, 2019 Filed Jul 11, 2019 20:46 UTC
Nesi VictorCo-President
SaleCommon Stock 1,415 $60.12 $85,069.80
Disclosure

SEC source: 0001209191-19-041841 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,910

Read SEC document
July 01, 2019 Filed Jul 3, 2019 17:57 UTC
Nesi VictorCo-President
SaleCommon Stock 3,585 $60.00 $215,100.00
Disclosure

SEC source: 0001209191-19-040839 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,325

Read SEC document
June 19, 2019 Filed Jun 21, 2019 20:38 UTC SaleCommon Stock 2,000 $57.25 $114,500.00
Disclosure

SEC source: 0001209191-19-038484 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,956

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:40 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035580 · doc4.xml · derivative · entry 3

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,157

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:40 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035580 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,956

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:46 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035604 · doc4.xml · derivative · entry 3

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,150

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:46 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035604 · doc4.xml · nonDerivative · entry 1

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,344

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:44 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035600 · doc4.xml · derivative · entry 3

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:44 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035600 · doc4.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 12,415

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:43 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035596 · doc4.xml · derivative · entry 3

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,672

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:43 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035596 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,297

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:42 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035591 · doc4.xml · derivative · entry 3

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,650

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:42 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035591 · doc4.xml · nonDerivative · entry 1

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,814

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:41 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035585 · doc4.xml · derivative · entry 3

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,167

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:41 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035585 · doc4.xml · nonDerivative · entry 1

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,807

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:39 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035577 · doc4.xml · derivative · entry 3

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,151

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:39 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035577 · doc4.xml · nonDerivative · entry 1

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,784

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:38 UTC Exercise / conversionPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035571 · doc4.xml · derivative · entry 3

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,650

Underlying: Common Stock · 1,900 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 06, 2019 Filed Jun 7, 2019 20:38 UTC Exercise / conversionCommon Stock 1,900 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035571 · doc4.xml · nonDerivative · entry 1

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,814

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 20:40 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035580 · doc4.xml · derivative · entry 2

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,057

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 20:46 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035604 · doc4.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,050

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 20:44 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035600 · doc4.xml · derivative · entry 2

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,800

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 20:43 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035596 · doc4.xml · derivative · entry 2

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,572

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 20:42 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035591 · doc4.xml · derivative · entry 2

Markus Maura A. · CIK 0001571545 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,550

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 20:41 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035585 · doc4.xml · derivative · entry 2

Grady Robert Edward · CIK 0001404525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,067

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 20:39 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035577 · doc4.xml · derivative · entry 2

BROWN MICHAEL W · CIK 0001205542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,051

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
June 05, 2019 Filed Jun 7, 2019 20:38 UTC GrantPhantom Stock Units · Derivative 1,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-035571 · doc4.xml · derivative · entry 2

Brown Kathleen · CIK 0001321211 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,550

Underlying: Common Stock · 1,900 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest quarterly over a one year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
May 23, 2019 Filed Jul 3, 2019 17:56 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
OtherCommon Stock 34,972 $57.19 $2,000,048.68
Disclosure

SEC source: 0001209191-19-040838 · doc4.xml · nonDerivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 841,249

F1 · kind: These shares were contributed by an LLC for which Mr. Kruszewski serves as a Manager and has voting power to the Clearfork Capital Fund LLC, an exchange fund, as part of ongoing estate and tax planning.

Read SEC document
May 15, 2019 Filed May 15, 2019 20:25 UTC
Nesi VictorCo-President
SaleCommon Stock 1,250 $56.04 $70,045.50
Disclosure

SEC source: 0001209191-19-030007 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,910

Read SEC document
May 09, 2019 Filed May 10, 2019 20:28 UTC SaleCommon Stock 20,000 $58.61 $1,172,200.00
Disclosure

SEC source: 0001209191-19-028921 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,397

Read SEC document
March 19, 2019 Filed Mar 21, 2019 20:30 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Disposition to issuerCommon Stock 90,000 $56.42 $5,077,800.00
Disclosure

SEC source: 0001209191-19-020762 · doc4.xml · nonDerivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 876,203

Read SEC document
February 22, 2019 Filed Feb 25, 2019 21:54 UTC
KRUSZEWSKI RONALD JDirector · Chief Executive Officer
Disposition to issuerCommon Stock 60,000 $55.76 $3,345,600.00
Disclosure

SEC source: 0001209191-19-013026 · doc4.xml · nonDerivative · entry 1

KRUSZEWSKI RONALD J · CIK 0001203674 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 966,203

F1 · kind: Surrender of shares to the company primarily to satisfy tax withholdings.

Read SEC document
February 21, 2019 Filed Feb 21, 2019 21:28 UTC
Nesi VictorCo-President
SaleCommon Stock 2,500 $55.03 $137,575.00
Disclosure

SEC source: 0001209191-19-012012 · doc4.xml · nonDerivative · entry 1

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,160

Read SEC document
February 12, 2019 Filed Feb 14, 2019 21:50 UTC PurchaseCommon Stock 2,000 $53.14 $106,280.00
Disclosure

SEC source: 0001209191-19-010241 · doc4.xml · nonDerivative · entry 1

PEACOCK DAVID A · CIK 0001382184 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 10,515

Read SEC document
February 08, 2019 Filed Feb 13, 2020 21:07 UTC GiftCommon Stock 964 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009159 · doc5.xml · nonDerivative · entry 3

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,029

Read SEC document
February 05, 2019 Filed Feb 13, 2020 21:07 UTC GiftCommon Stock 197 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009159 · doc5.xml · nonDerivative · entry 2

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,993

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:45 UTC
Fisher Mark PSENIOR VP & GENERAL COUNSEL
GrantPhantom Stock Units · Derivative 3,487 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-007757 · doc4.xml · derivative · entry 2

Fisher Mark P · CIK 0001345807 · SENIOR VP & GENERAL COUNSEL

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,824

Underlying: Common Stock · 3,487 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:48 UTC
SLINEY DAVID DChief Operating Officer
GrantPhantom Stock Units · Derivative 4,699 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-007767 · doc4.xml · derivative · entry 2

SLINEY DAVID D · CIK 0001203692 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,340

Underlying: Common Stock · 4,699 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:47 UTC
Nesi VictorCo-President
GrantPhantom Stock Units · Derivative 8,470 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-007763 · doc4.xml · derivative · entry 3

Nesi Victor · CIK 0001470453 · Co-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,671

Underlying: Common Stock · 8,470 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:46 UTC
Michaud Thomas B.Senior Vice President
GrantPhantom Stock Units · Derivative 14,916 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-007762 · doc4.xml · derivative · entry 2

Michaud Thomas B. · CIK 0001380492 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,895

Underlying: Common Stock · 14,916 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:45 UTC
Marischen James MChief Financial Officer
GrantPhantom Stock Units · Derivative 2,088 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-007760 · doc4.xml · derivative · entry 2

Marischen James M · CIK 0001638499 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,344

Underlying: Common Stock · 2,088 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
February 04, 2019 Filed Feb 6, 2019 21:44 UTC
Brautigam AllenDirector, Branch Offices
GrantPhantom Stock Units · Derivative 1,740 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-007756 · doc4.xml · derivative · entry 2

Brautigam Allen · CIK 0001517800 · Director, Branch Offices

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,913

Underlying: Common Stock · 1,740 shares

Expires not disclosed

F1 · derivative.exercise_date: Units vest in 20% increments over a five year period.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
February 04, 2019 Filed Feb 13, 2020 21:07 UTC GiftCommon Stock 5,547 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-009159 · doc5.xml · nonDerivative · entry 1

WEISEL THOMAS W · CIK 0001207218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,190

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:24 UTC Exercise / conversionPhantom Stock Units · Derivative 3,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001936 · doc4.xml · derivative · entry 2

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,157

Underlying: Common Stock · 3,750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:24 UTC Exercise / conversionCommon Stock 3,750 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001936 · doc4.xml · nonDerivative · entry 1

DUBINSKY JOHN P · CIK 0001181348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,056

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:29 UTC Exercise / conversionPhantom Stock Units · Derivative 4,179 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001968 · doc4.xml · derivative · entry 2

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,672

Underlying: Common Stock · 4,179 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

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January 02, 2019 Filed Jan 4, 2019 21:29 UTC Exercise / conversionCommon Stock 4,179 $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001968 · doc4.xml · nonDerivative · entry 1

OATES JAMES M · CIK 0001180238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,965

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

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January 02, 2019 Filed Jan 4, 2019 21:32 UTC Exercise / conversionPhantom Stock Units · Derivative 3,750 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-19-001982 · doc4.xml · derivative · entry 2

ZIMMERMAN MICHAEL J · CIK 0001239734 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,150

Underlying: Common Stock · 3,750 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Currently exercisable.

F2 · derivative.expiration_date: No expiration date for these Units.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.